Simon Moffatt

Watch for changes

Where they hold approval

Firms where this individual holds — or has held — an FCA-approved role.

Prudential Distribution Limited
FRN 194709
- SMF3 Executive Director (since 2 Aug 2021)
- CF1 Director (26 Jul 2016 to 31 Jan 2018)
M&G Investment Management Limited
FRN 119328
- [FCA CF] Significant management (since 13 Jul 2020)
The Prudential Assurance Company Limited
FRN 139793
- [FCA CF] Significant management (since 28 Apr 2020)
Investment Funds Direct Limited (no longer approved here)
FRN 114432
- [FCA CF] Manager of certification employee (15 Feb 2021 to 31 Oct 2021)

Updates to this individual's record on the FCA register.

No changes recorded yet.

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Senior staff at any authorised firm have to be approved by the FCA personally.
Approved individual: Someone the FCA has personally signed off to hold a senior role at an authorised firm — directors, compliance officers and similar. They're held accountable for the firm's conduct.
Controlled functions: The specific senior roles the FCA approves people to hold, like 'Compliance oversight' or 'Money laundering reporting'. Each approval is tied to a particular firm.
IRN: Individual Reference Number — the unique ID the FCA assigns to each approved person. It stays the same as they move between firms.

Information on this page is sourced from the official FCA register.